Utah Admin. Code R590-227-6 - Procedures for Filings
(1) Forms in
General.
(a) A form is a file and use
filing.
(b) A form shall be
identified by a unique form number that may not be variable.
(c) A form shall be in final printed form and
may not be submitted as a draft.
(d) Blank spaces within a form shall be
completed to accurately represent the purpose and use.
(i) If the intended market is for a senior
age market, the form shall be completed with data representative of senior
annuitants.
(ii) Any data in a
form, including the data page, shall be consistent with the actuarial
memorandum, the application, and any marketing materials, as
applicable.
(2)
Application Filing.
(a) An application or
enrollment form may be submitted as a separate filing or filed with its related
contract or certificate filing.
(b)
If an application was previously filed or is filed separately, an informational
copy of the application shall be included with the contract or certificate
filing.
(c) The Utah filed date or
SERFF tracking number for the application shall be included in the filing
description.
(3) Contract
Filing.
(a) Each TOI shall be filed
separately.
(b) A contract filing
consists of one contract form, including the application, data page, rider,
endorsement, and actuarial memorandum.
(c) A contract data page shall be included
with each contract filing.
(d) Only
one contract filing for a single TOI may be filed.
(4) Rider or Endorsement Filing.
(a) Related riders or endorsements may be
filed together.
(b) A single rider
or endorsement that affects multiple forms may be filed if the filing
description references each affected form.
(c) A rider or endorsement that is based on
morbidity risks, such as critical illness or long-term care, is accident and
health insurance and shall be filed under Rule R590-220.
(d) The filing description shall include:
(i) a list of each contract form number,
title, and Utah filed date or SERFF tracking number;
(ii) a description of how each filed rider or
endorsement affects the contract; and
(iii) a data page with data for the submitted
form.
(e) Unrelated
riders or endorsements may not be filed together.
Notes
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